Evans Law, PC · SEC · FINRA · State and federal courts
Entity formation, governance and acquisitions. Offerings and the regulation around them. Arbitration and litigation when a matter is disputed. For companies, issuers, broker-dealers and advisers.
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Joint ventures, operating and partnership agreements, and every phase of the business cycle.
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All aspects, including alternative investments across asset classes.
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Companies, issuers, underwriters and funds in private placements, financings and joint ventures.
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Founded by a former chief executive and chief compliance officer of a FINRA member firm.
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Retail, private fund and dual registrants under the Advisers Act of 1940.
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Why Evans Law
Over twenty years of legal practice, built on thirty years in and around the securities industry — securities arbitration and litigation, regulatory investigations, and the transactions underneath them — with an understanding of the challenges and objectives faced by broker-dealers, issuers, representatives and investment advisers.
A former president, chief executive and chief compliance officer of a FINRA member firm, taken through FINRA’s new member application under Rule 1014, and general counsel and chief operating officer to securities issuers, including an Inc. 500 oil and gas company that managed or operated over $300 million of oil and gas assets.
A joint law and business degree with a tax LL.M. on top — because the tax consequence is usually the real answer to an entity or offering question.
Insight
On October 1, 2026, the SEC’s Division of Examinations published The SEC Exam Handbook, replacing the two-page brochure examiners have handed registrants since 1995. It sets out, step by step, how an exam is opened, run, and closed, the 180-, 30-, and 60-day deadlines, and the conduct the staff will and will not accept…
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On September 30, 2026, the SEC proposed to let investment advisers charge performance fees to any accredited investor, replacing Rule 205-3’s separate net worth and assets-under-management tests, and to permit performance fees for registered funds and BDCs subject to a 20 percent cap and board findings…
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On September 30, 2026, the SEC published five notices seeking comment on new ways to qualify as an accredited investor without meeting the income or net worth tests: a FINRA-developed exam, and the CPA license, CFA charter, CFP certification, and Series 79 and 86/87 licenses held in good standing…
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